{"id":1547,"date":"2025-10-17T18:47:52","date_gmt":"2025-10-17T18:47:52","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1547"},"modified":"2025-11-14T18:54:31","modified_gmt":"2025-11-14T18:54:31","slug":"updates-on-sifma-finra-esma-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/10\/17\/updates-on-sifma-finra-esma-and-more-from-fisolve\/","title":{"rendered":"Updates on SIFMA, FINRA, ESMA and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\"><a href=\"http:\/\/FiSolve.com\" target=\"_blank\" rel=\"noopener\" title=\"\">FiSolve<\/a>&#8216;s October 17th weekly financial and regulatory news updates:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.sifma.org\/resources\/submissions\/letters\/modernizing-communications-and-record-retention-rules-for-broker-dealersinvestment-advisers-and-security-based-swap-dealers-sifma-and-sifma-amg\/?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8D2f_7GJjdj-RRa2AJZa2NceeSLsCqs4Q7c_64r32sIUtB1823Ikr1HQ3sPqIs9E9k3FS0\" target=\"_blank\" rel=\"noopener\" title=\"\">SIFMA Proposes Modernizing SEC Rules to Reflect Today\u2019s Communications Practices<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/home.treasury.gov\/news\/press-releases\/sb0278?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8D2f_7GJjdj-RRa2AJZa2NceeSLsCqs4Q7c_64r32sIUtB1823Ikr1HQ3sPqIs9E9k3FS0\" target=\"_blank\" rel=\"noopener\" title=\"\">U.S. and U.K. Take Largest Action Ever Targeting Cybercriminal Networks in Southeast Asia<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2023080354702%20Amy%20Fulghum%20CRD%204805463%20AWC%20vr.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8D2f_7GJjdj-RRa2AJZa2NceeSLsCqs4Q7c_64r32sIUtB1823Ikr1HQ3sPqIs9E9k3FS0\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Fines and Suspends Former Assistant for Signing Documents without Permission<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2025-10\/ESMA32-2064178921-9254_Public_Statement_-_2025_European_Common_Enforcement_Priorities.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8D2f_7GJjdj-RRa2AJZa2NceeSLsCqs4Q7c_64r32sIUtB1823Ikr1HQ3sPqIs9E9k3FS0\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA Announces 2025 European Common Enforcement Priorities and Releases Results of Fact-Finding on Materiality Considerations in Sustainability Reporting<\/a><\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-october-10-2025\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s October 17th weekly financial and regulatory news updates: Read the full update here.<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,25,21,22],"tags":[],"class_list":["post-1547","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-international","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;s October 17th weekly financial and regulatory news updates: SIFMA Proposes Modernizing SEC Rules to Reflect Today\u2019s Communications Practices U.S. and U.K. Take Largest Action Ever Targeting Cybercriminal Networks in Southeast Asia FINRA Fines and Suspends Former Assistant for Signing Documents without Permission ESMA Announces 2025 European Common Enforcement Priorities and Releases Results of Fact-Finding\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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